Hurricane Information Center

NASAA members throughout the United States, Canada, and Mexico send our thoughts and prayers to the citizens of Louisiana, Mississippi, Texas, Alabama, and Florida and stand ready to lend any assistance possible to our colleagues, investors, and securities industry professionals in all affected states.

NASAA has developed this resource page to provide information to firms, individual broker-dealers and investment advisers, as well as investors affected by Hurricanes Katrina and Rita.

Information for Securities Industry Professionals

Registration Issues
NASAA is aware that registration issues may arise stemming from certain securities transactions that may take place between broker-dealers, investment advisers and their representatives and investors displaced as a result of this season's hurricanes. 

If you do not see your state listed below, please contact the securities regulator in your home state to determine the status of current licensing and registration policies. Contact information for all NASAA members is available by clicking here. This page will be updated frequently as new orders are issued.

Emergency Orders & Exemptions

Mississippi: Emergency Order

Alabama: Emergency Order

Texas: (Katrina) New Rule, Exemption Notice Form, News Release
            (Rita) New Rule, Exemption Notice Form, News Release 
                      Extension (NEW)

Colorado: Order of Exemption

Connecticut: Statement of Policy

Delaware: Order

Florida: Supplemental Order, Extension (NEW)

Hawaii: Emergency Order, News Release

Idaho: Emergency Order, News Release

Illinois: Emergency Rule

Indiana: Emergency Statement of Policy, Extension (NEW)

Iowa: Exemption Order

Maine: Temporary Exemption Order

Maryland: Order

Missouri: Emergency Order

Nebraska: Emergency Statement of Policy

New Jersey: Emergency Order

North Carolina: Temporary Relief Order

North Dakota: Emergency Statement of Policy

Utah: Emergency Order

Vermont: Temporary Exemption

Wisconsin: Extension of Temporary Exemption (NEW)

Louisiana BDs/IAs
In Louisiana, state securities regulators have requested that broker-dealers and investment advisers doing business in the state who have been displaced by the hurricane contact the Louisiana Securities Commission toll-free at (866) 783-5469 to provide updated contact information that could be passed on to inquiring investors.

Information for Investors

NASAA Members Serving Investors in Wake of Hurricane Katrina 
State securities regulators in Louisiana, Mississippi, Alabama, and Florida are open and serving investors following the massive destruction caused by Hurricane Katrina. Contact information for all NASAA members is available by clicking here.

Mississippi Investors
In Mississippi, the Business Regulation & Enforcement Division of the Office of the Secretary of State has also established a toll free number that Mississippi residents with securities-related questions can call. That number is (888) 236-6167.

NASAA Advises Investors to Beware of Hurricane-related Scams
In the wake of widespread devastation caused by Hurricane Katrina in Louisiana, Mississippi, Alabama, and Florida, NASAA has warned investors to beware of opportunistic investment scams.  “Bottom-feeding con artists always try to find ways to exploit tragic headlines to cash in on unsuspecting investors,” said Franklin L. Widmann, chief of the New Jersey Bureau of Securities and NASAA President of NASAA. More Information. 

Investor Resources

• How to Spot a Con Artist
• How to Avoid Becoming a Victim
• Know Your Rights as an Investor